FINRA Arbitration Tracker: Broker Complaints & Customer Disputes
The FINRA Arbitration Tracker provides disclosure summaries, customer dispute filings, and regulatory actions involving registered brokers, financial advisors, and member brokerage firms nationwide. Sonn Law Group reviews potential investor recovery claims involving unsuitable recommendations, unauthorized trading, churning, options losses, real estate securities (DSTs), and failure to supervise.
UBS Financial Hit with $20M FINRA Fine & Historic $125M FinCEN Penalty
In one of the largest anti-money laundering (AML) enforcement actions [...]
Stifel Settles Dispute for $3.6 Million Over Barred Broker Chuck Roberts
Stifel Financial has agreed to pay nearly $3.6 million to [...]
FINRA Arbitration Attorney: What Investors, Advisors, and Firms Need to Know
What Is a FINRA Arbitration Attorney? A FINRA arbitration attorney [...]
What FINRA Arbitration Means for Investors and Advisors
FINRA Arbitration Plays a Major Role in Securities Disputes When [...]
Spartan Capital Securities Contests “Restricted Firm” Label Amid Massive Excessive Trading Allegations GallerySpartan Capital Securities Contests “Restricted Firm” Label Amid Massive Excessive Trading Allegations
FINRA Arbitration News, Cases & Investor Resources | Sonn Law, FINRA Enforcement & Investor Protection
Spartan Capital Securities Contests “Restricted Firm” Label Amid Massive Excessive Trading Allegations
In an ongoing effort to protect retail investors from predatory [...]
FINRA Slaps Tastytrade with $850,000 Fine Over Best Execution Failures
When you place a stock trade through your brokerage firm, [...]
Ex-Morgan Stanley Broker Theodore W. Byrer Suspended 14 Months Over Speculative Options Strategy
Options trading can be a highly effective portfolio tool, but [...]
Broker Jacob Lee Harper Suspended for Secret $50,000 Customer Loans
Financial advisors occupy a position of deep trust, and borrowing [...]
Record $120M Penalty Hits Canaccord Genuity Over Systemic AML Failures
To protect the integrity of the U.S. financial system, broker-dealers [...]
